马萨诸塞州经纪人被指控欺骗客户300万美元

James Kenneth Couture, an ex-LPL Financial registered representative, was arrested in July 2021 after turning down a plea deal related to criminal charges that accused him of stealing $3M from investors. Following his decision not to accept the deal, a grand jury added additional criminal counts to the charges of wire fraud and aggravated identity theft, as well as an investment advisor fraud charge. Couture has pleaded not guilty to all criminal charges and was released without bond.

当时，Couture是LPL金融经纪人，直到该经纪交易商在2020年6月解雇他。他还是马萨诸塞州的一名投资顾问，他经营着私人财富管理集团和Shell Company Legacy Financial Group。

Our broker misconduct lawyers are speaking with former customers of ex-LPL broker James Couture who suffered serious investment losses that may have been caused by his allegedly fraudulent and negligent actions. Contact Shepherd Smith Edwards and Kantas (SSEK Law Firm atBOB体育InvestorLawyers.com) today at (800) 259-9010.

Massachusetts Registered Investment Advisor Also Faces SEC Fraud Charges

检察官认为，在2009年至2019年之间，Couture据称将数百万美元从客户的帐户中转移了数百万美元，以支付其他客户的虚假回报，并从另一位注册投资顾问那里购买客户列表。如果他接受了认罪协议，Couture将不得不没收约290万美元的投资者资金，支付190万美元的赔偿金，并落后66至91个月。

Couture还面临证券交易委员会（SEC）提起的平行民事指控。bob200体育监管机构辩称，他让客户出售一部分证券股份，以便他可以将这笔钱转移到他控制的实体上。bob200体育他被指控错误地声称这些证券销售的收益将重新投资给他们，这就是他能够获得这些客户授权的方式。bob200体育SEC表示，每当客户想拿出钱时，Couture都会使用其他咨询客户的资金来支付这些资金。

According to hisBrokerCheck record, James Couture worked 18 years in the industry. Other firms where he used to be a registered broker include Lincoln Financial Securities, New England Securities, and Morgan Stanley DW. He has five disclosures listed, including the SEC civil case.

Other disclosures on Couture’s BrokerCheck include:

June 2021:A pending $385K customer claim that appears to be related to the criminal case and the SEC charges involving Couture.
October 2020:A bar by the Financial Industry Regulatory Authority (FINRA) related to his firing by LPL Financial.
October 2020:An investor dispute alleging misrepresentations that was denied.
June 2020:LPL Financials firing of Couture for allegedly tampering with customer accounts, commingling customer funds, and other claims.

Brokerage Firms and Their Duty to Supervise

Broker-dealers have a duty to supervise their certified financial advisors and their activities. When negligent supervision or the failure to detect red flags allows for the kind of broker misconduct that leads to investor losses, financial firms can be held liable for customers’ losses.

The best way to pursue damages is to file your own FINRA arbitration claim. This is not the type of securities case you want to be involved in without your own broker misconduct lawyers representing you and protecting your rights.

立即致电（800）259-9010与SSEK律师事务所联系，并要求您免费，无义务案件咨询。